Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
CHARLES RAFFUS DUPLECHAIN
CHARLES RAFFUS DUPLECHAIN II, Charles Duplechain
CRD#: 6678504
IA
Investment Adviser
B
Broker
PARK AVENUE SECURITIES LLCCRD#: 46173 10000 PERKINS ROWE
SUITE G240
BATON ROUGE, LA 70810
Registration History
201620172018201920202021202220232024202520262 FIRMS2016 - 2017 (<1 year)2 FIRMS2017 - 2018 (<1 year)2 FIRMS2018 - Present (6 years)
License(s)

State Registrations

B
Alabama 8/30/2024
B
Mississippi 5/6/2022
IA
Alabama 8/30/2024
IA
Mississippi 5/6/2022
B
California 10/4/2021
B
Missouri 8/22/2023
IA
California 10/4/2021
B
Montana 5/8/2023
B
Colorado 4/12/2022
B
North Carolina 7/19/2023
IA
Colorado 4/12/2022
IA
North Carolina 7/31/2023
B
Florida 6/9/2022
B
Oklahoma 11/15/2019
IA
Florida 6/10/2022
B
Pennsylvania 6/16/2023
B
Georgia 9/25/2019
IA
Pennsylvania 6/20/2023
B
Louisiana 3/23/2018
B
Texas 1/8/2019
IA
Louisiana 4/3/2018
IA
Texas 12/16/2019
B
Massachusetts 1/9/2019
B
Washington 1/14/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PARK AVENUE SECURITIES LLC (CRD#:46173)
10000 PERKINS ROWE SUITE G240, BATON ROUGE, LA 70810
Registered with this firm since 4/3/2018
B
PARK AVENUE SECURITIES LLC (CRD#:46173)
10000 PERKINS ROWE SUITE G240, BATON ROUGE, LA 70810
Registered with this firm since 3/23/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/23/2017 - 01/25/2018 HANCOCK INVESTMENT SERVICES, INC. (CRD#:40637) DENHAM SPRINGS, LA
B
 05/23/2017 - 01/25/2018 HANCOCK INVESTMENT SERVICES, INC. (CRD#:40637) DENHAM SPRINGS, LA
IA
 11/25/2016 - 04/05/2017 EDWARD JONES (CRD#:250) PRAIRIEVILLE, LA
B
 08/30/2016 - 04/05/2017 EDWARD JONES (CRD#:250) PRAIRIEVILLE, LA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.